CFTC commissioner dissents against broker’s recordkeeping fine

15th August, 2024

Gregory Rosenvinge
CFTCGIG

The commissioner of the Commodity Futures Trading Commission (CFTC) is against the US futures regulator’s fine against Cowen and Co for failures of recordkeeping, while also issuing fines against Toronto Dominion Bank (TD Bank) and Truist Bank over similar concerns.

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ABN AMRO
Bank of America
CBOE
Citi
Goldman Sachs
DRW Holdings
HSBC
J.P Morgan
Marex
Morgan Stanley
SGX
SocGen
Susquehanna
MUFG Investor Services
TP ICAP

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